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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-12-03
TX RA APPROVED 2024-01-31
  • SC RA
    APPROVED
    Since 2024-12-03
  • TX RA
    APPROVED
    Since 2024-01-31

Branch Locations

1301 Gervais St, Columbia, SC 29201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 02/2023 Present
Fp1 Strategies Arlington VA 06/2020 02/2023
Fp1 Strategies Arlington VA 06/2019 08/2019
Martin Horn, Inc. Charlottesville VA 01/2019 02/2019
Ciee, Rome Rome 08/2018 12/2018
Fp1 Strategies Washington DC 06/2018 08/2018
Wofford College Spartanburg SC 09/2016 05/2020
David S Randle Esq Stanardsville VA 08/2014 08/2017
Klh Designs Charlottesville VA 05/2016 08/2017
Wofford College Football Spartanburg VA 05/2017 10/2017
Fp1 Strategies Washington DC 01/2018 01/2018
  • 02/2023 → Present
    Charlotte, NC
  • 06/2020 → 02/2023
    Fp1 Strategies
    Arlington, VA
  • 06/2019 → 08/2019
    Fp1 Strategies
    Arlington, VA
  • 01/2019 → 02/2019
    Martin Horn, Inc.
    Charlottesville, VA
  • 08/2018 → 12/2018
    Ciee, Rome
    Rome
  • 06/2018 → 08/2018
    Fp1 Strategies
    Washington, DC
  • 09/2016 → 05/2020
    Wofford College
    Spartanburg, SC
  • 08/2014 → 08/2017
    David S Randle Esq
    Stanardsville, VA
  • 05/2016 → 08/2017
    Klh Designs
    Charlottesville, VA
  • 05/2017 → 10/2017
    Wofford College Football
    Spartanburg, VA
  • 01/2018 → 01/2018
    Fp1 Strategies
    Washington, DC
Other Businesses

Name of the other businessMerrill Edge Brokerage Account Whether the business is investment-relatedBrokerage Account Address of the other business4620 Mechums River Road, Charlottesville, VA 22901 Nature of the other businessBrokerage Account Your positionOwner Title, or relationship with the other businessOwner of Brokerage Account Start date of your relationship07/2018 (Charles Schwabb) 03/2023 (Transferred to Edge) Approximate number of hours/month you devote to the other business30 minutes MAYBE Number of hours you devote/month to the other business during securities trading hours5 minutes MAYBE Briefly describe your duties relating to the other businessOwn a personal brokerage account

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-05
  • S66 Uniform Combined State Law Examination
    2024-01-05
Other Names
  • Maggie Randle

View on SEC IAPD

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